证券业从业人员管理模式选择研究

The Selection of the Patterns of Staff-management in Securities Industry

股票发行注册制改革对证券从业人员管理工作提出了新的要求和挑战。通过梳理从业人员管理的历史发展和操作流程,可以清晰地确定资格管理是从业人员管理的制度核心。但在实践中诸多政策和规范已发生了偏离,并由此引发了诸多问题。改革证券业从业人员管理模式的路径主要有:坚持资格与证书相区别,推行资格简单化与证书多样化,继续教育与年检相结合。

New demands and challenges have been brought up to the staff-management in securi- ties industries from the Stock Issuing System of Registration. By means of teasing the historical de- velopment and operational process, it is obvious to confirm the core status of qualification management in the whole system of staff-management. However, many policies and norms have devi- ated in practice, resulting in some problems accordingly. On the basis of the connotation, the orienta- tion of qualification in staff-management will be clear and definite, and some suggestions would be put forward to improve the management level.